Customer Service Sales

Kathleen M. Lynn

Email: abpwgy@r.postjobfree.com

Address:

City: Summit

State: NJ

Zip: 07901

Country: USA

Phone: 908-***-****

Skill Level: Any

Salary Range:

Primary Skills/Experience:

Driven results oriented Compliance Associate eager to apply over 15 years of team management and solutions based philosophy toward a career with a progressive company seeking to optimize strategic goals. My experience includes:

Educational Background:

High School Dipolma from New York University, New York NY 1/2001 to 5/1990 (Pre-Law)

Job History / Details:

Summary

Driven results oriented Compliance Associate eager to apply over 15 years of team management and solutions based philosophy toward a career with a progressive company seeking to optimize strategic goals. My experience includes:

Highlights

equity, option and foreign trade reviews

back office support for fails, breaks and settlement problems

compliance reviews

trading floor operations

customer inquiries/sales practice complaints

corporate actions

Experience

September 2006 to October 2012

UBS Financial, Transaction Products Weehawken, NJ

Trade and Processing Analyst

Member of the equity trade support network who worked with the investment bank, portfolio managers, technology, operations, retail branch offices, and senior management dealing with execution problems and trade challenges.

Investigated trade and order execution challenges and made 95 percentage of the adjustments same day to reduce client impact.

While fielding phone calls from over 100 branches and various service departments, educated those involved regarding market conditions or relevant compliance policies.

Ran and reviewed daily compliance exception reports and challenged market makers or the Investment Bank for price improvements.

While working with Managed Accounts and the IB developed direct notification system for orders that were possible errors - i.e.

no limit for large orders or clearly erroneous orders.

Successfully addressed accountability problems reducing response time in replying to fails, breaks and settlement issues.

January 1999 to October 2004

UBS Warburg, Trading Floor Stamford, CT

Associate Director

Managed OTC support department with staff of 5 employees.

Trained and facilitated work teams within client service departments.

During the dot-com era, implemented policy of having traders adjust trades reducing turnaround time in answering written trade challenges by 50 percentage .

Managed the phone calls on our ACD lines, over 100 calls daily, assuring quality and accuracy.

In accordance with internal compliance, evaluated trade executions by both principal and agency desks and made adjustments to the execution prices when warranted.

Interfaced with Senior Management regarding execution delays caused by the system, agency or principal traders and or individual exchange problems.

Calculated all losses for the OTC desk due to system outages, trader errors or NASDAQ reporting problems and worked working with technology to prevent further instances of same.

January 1996 to January 1999

UBS Warburg

OTC Trade Support and Processing Analyst

Answered calls and responded to internal inquiries from the firm regarding OTC.

Placed in a managerial role when needed and cross trained new employee trade support and operation teams.

Compiled the ACD data and documented written trade challenge increases in mandating a central place for branches to complain in order to track customer complaints and firm errors.

January 1989 to January 1996

Painewebber, NY

Legal and Compliance Analyst

Key liaison person between Customer Service, Compliance and the Legal Department in identifying sales practice complaints.

Responded to written complaints from clients, attorneys, IRS and regulatory agencies.

Worked with Branch Managers in getting responses from FA's to NYSE demands.

Reviewed with corporate attorneys all outgoing Release and Settlement Documents sent to clients in response to their complaints.

Education

New York University NY, NY

Bachelor of Arts Pre-Law

Skills and Accomplishments

Bloomberg, Thomson, Word, Excel

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